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Compliance Officer III

Job Description

BNY Mellon Asset Management North America Corporation ("BNY Mellon AMNA") is a leading provider of high-quality single- and multi-asset investment solutions using both active and passive strategies for investors globally. With the three legacy boutiques totaling $558.8 billion in assets under management as of March 31, 2018, it serves a wide variety of institutional and intermediary clients in over 40 markets globally. The firm’s active equity strategies leverage the capabilities developed by The Boston Company; its active fixed income strategies employ the deep fundamentals-based experience of Standish, and its index, multi-asset/multi-factor strategies incorporate Mellon Capital’s advanced systematic processes. Mellon Capital, Standish and The Boston Company will continue to market existing products under the existing brands until the launch of a new unified brand later in the year.

The Compliance Officer III will assist in the oversight of the investment guideline compliance program for BNY Mellon Asset Management North America Corporation. This includes maintaining the pre- and post-trade compliance systems, and working with the portfolio management teams, Trading and IT departments to properly code, test, and troubleshoot restrictions and guidelines in the system. The qualified candidate will be responsible for helping to negotiate investment guidelines with new clients, and reviewing annual updates to the Prospectus and SAI for sub-advised mutual funds. S/he will assist in researching and clearing pre trade and batch alerts. S/he will work on complex projects involving various compliance related matters independently as well as with other members of the Compliance Department and/or with other groups at BNY Mellon Asset Management North America Corporation. S/he will work with compliance systems including the Charles River platform.

Qualifications

BA/BS, MBA or professional certification preferred. 7-10 years relevant product/financial services and/or auditing or compliance experience preferred. Thorough knowledge of Financial Services rules and regulations. Solid understanding of Compliance Risk Management and best practices. Excellent problem solving, analytical ability, oral and written communication skills. The ability to handle stressful situations with internal clients and regulators, while maintaining a professional approach to problem solving. Ability to effectively deal with senior management as well as, Federal/State and other Regulators Strong interpersonal skills to influence and impact business decisions over which the incumbent has no direct authority. For over 230 years, the people of BNY Mellon have been at the forefront of finance, expanding the financial markets while supporting investors throughout the investment lifecycle. BNY Mellon can act as a single point of contact for clients looking to create, trade, hold, manage, service, distribute or restructure investments & safeguards nearly one-fifth of the world's financial assets. BNY Mellon remains one of the safest, most trusted and admired companies. Every day our employees make their mark by helping clients better manage and service their financial assets around the world. Whether providing financial services for institutions, corporations or individual investors, clients count on the people of BNY Mellon across time zones and in 35 countries and more than 100 markets. It's the collective ambition, innovative thinking and exceptionally focused client service paired with a commitment to doing what is right that continues to set us apart. Make your mark: bnymellon.com/careers.

As one of the world's leading investment management organizations and one of the top U.S. wealth managers, BNY Mellon Investment Management combines agility, insight and scale to create and deliver strategies and solutions to address our clients' needs. Encompassing BNY Mellon's investment management firms, wealth management organization and global distribution teams, we draw on deep expertise to collaborate with clients and tailor our best ideas and resources to meet their specific needs. We pride ourselves on providing dedicated service through our network of global professionals who have a deep understanding of local requirements.
With our extensive experience in anticipating and responding to the investment and financial needs of the world's governments, pension plan sponsors, corporations, foundations, endowments, advisors, intermediaries, individuals and families, and family offices, BNY Mellon Investment Management is dedicated to helping clients reach their goals.